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Enforcement Actions

 

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F.W.C. Wealth Advisors and Auer, David and National Equity Partners, LP
	David B. Auer's Answer to Enforcement Division Recommendation and Request for Hearing    Filed: 6/9/2009
	Order Setting Hearing [September 10, 2009 @ 9:00 a.m.]    Filed: 7/13/2009
	Entry of Appearance [Robert V. Seacat on behalf of David B. Auer]    Filed: 8/5/2009
	Order Setting Hearing [September 30, 2009 @ 9:00 a.m.]    Filed: 8/7/2009
	Agreement relating to David B. Auer    Filed: 9/18/2009
	Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing on Enforcement Division Recommendation    Filed: 5/28/2009

 

Farmers & Merchants Bank, Farmers & Merchants Bancshares, Inc., John V. Anderson, and John Tom
	Petition    Filed: 4/21/2006
	Defendants' Unopposed Motion for Extension of Time    Filed: 5/15/2006
	Agreed Order    Filed: 5/17/2006
	Defendants' Motion to Dismiss and Brief in Support [Hearing set for 7/28/06 @9:00 a.m.]    Filed: 6/5/2006
	ODS' Response to Defendants' Motion to Dismiss    Filed: 6/22/2006
	Defendant's Reply to ODS' Response to Defendant's Motion to Dismiss and Brief in Support    Filed: 7/20/2006
	Motion to Reconsider Order Denying Defendants’ Motion to Dismiss or, in the Alternative, Certify the Order for Immediate Interlocutory Appeal [Hearing set for 9/8/06 @ 9:00 a.m.]    Filed: 8/4/2006
	ODS’ Response to Defendants’ Motion to Reconsider Order Denying Defendants’ Motion to Dismiss or, in the Alternative, Certify the Order for Immediate Interlocutory Appeal    Filed: 8/24/2006
	Journal Entry denying Defendants' Motion to Dismiss    Filed: 10/10/2006
	Defendants' Answer    Filed: 11/13/2006
	Journal Entry denying Defendants' motion to reconsider order denying motion to dismiss    Filed: 11/14/2006
	Robert Lynn Pourchot's Motion to Consolidate [CJ-06-10049]    Filed: 12/19/2006
	Robert Lynn Pourchot's Motion to Intervene and Brief in Support [CJ-06-3311]    Filed: 1/11/2007
	Defendants' Response and Objection to Motion to Intervene [CJ-06-3311]    Filed: 2/26/2007
	Intervenors' Unopposed Application for Leave to File Reply Brief in Excess of Five Pages    Filed: 3/2/2007
	Intervenors' Reply in Support of their Motion to Intervene    Filed: 3/2/2007
	Intervenors' Motion to Settle Journal Entry    Filed: 4/17/2007
	Intervenors' Petition In Intervention    Filed: 6/18/2007
	Order Granting Intervenors' Motion to Intervene    Filed: 6/18/2007
	Defendants' Answer to Petition in Intervention    Filed: 7/9/2007
	Intervenors' Motion to Enter    Filed: 7/18/2007
	Defendants' Motion for Leave to File Oversized Brief in Support of Motion for Partial Summary Judgment    Filed: 5/16/2008
	Order Granting Defendants' Motion for Leave to File Oversized Brief in Support of Motion for Partial Summary Judgment    Filed: 5/19/2008
	Defendants' Motion for Partial Summary Judgment    Filed: 5/20/2008
	ODS' Response to Defendants' Motion for Summary Judgment    Filed: 6/6/2008
	Defendants' Reply to ODS' Response to Defendants' Motion for Partial Summary Judgment    Filed: 6/25/2008
	Defendants' Application for Extension of Briefing Deadlines regarding Discovery Issues and to Reschedule Related Hearing    Filed: 7/18/2008
	Order Extending Briefing Deadlines regarding Discovery Issues and Rescheduling related Hearing    Filed: 7/29/2008
	Intervenor's Brief on Admissibility of Investors' Negligence    Filed: 8/1/2008
	ODS' Memorandum Concerning Discovery Issues    Filed: 8/1/2008
	Defendants' Brief in Support of Outstanding Discovery Issues    Filed: 8/1/2008
	ODS' Application for Extension of Time to Respond    Filed: 8/11/2008
	Order Granting ODS' application for an extension of time to respond    Filed: 8/12/2008
	ODS' Response to Defendants' Brief in Support of Outstanding Issues    Filed: 8/13/2008
	Defendants' Response to Intervenors' Brief on Admissibility of Investors' Negligence and ODS' Memorandum Concerning Discovery Issues    Filed: 8/13/2008
	Intervenors' Reply Brief in Support of Inadmissibility of Investors' Negligence    Filed: 8/13/2008
	Defendants' Reply regarding Outstanding Discovery Issues    Filed: 8/22/2008
	Stipulation and Protective Order    Filed: 9/22/2008
	Defendants' Motion to Compel    Filed: 11/12/2008
	Defendants' Motion to Compel against Intervenors    Filed: 11/20/2008
	Journal Entry denying Defendants' Motion for Partial Summary Judgment    Filed: 12/11/2008
	Defendants' Reply to ODS' Response to Defendants' Motion to Compel    Filed: 12/12/2008
	Defendants' Reply to Intervenors' Response to Defendants' Motion to Compel    Filed: 12/12/2008
	ODS' Motion to Deem Certain Allegations in ODS' Petition Admitted    Filed: 12/30/2008
	ODS' Response to Defendants' Motion to Reconsider the Denial of Defendants' Motion for Partial Summary Judgment    Filed: 1/13/2009
	Intervenors' Response to ODS' Motion to Deem Certain Allegations in ODS' Petition Admitted    Filed: 1/14/2009
	ODS' Reply to Defendants' Response in Opposition to ODS' Motion to Deem Certain Allegations in ODS' Petition Admitted    Filed: 1/23/2009
	Defendants' Reply to ODS' Response to Defendants' Motion to Reconsider the Denial of Defendants' Motion for Partial Summary Judgment    Filed: 1/23/2009
	Judge Parrish’s letter DENYING Defendants’ Motion to Reconsider    Filed: 2/2/2009
	Journal Entry    Filed: 2/17/2009
	ODS' Memorandum of Law Asserting Defendants are not Entitled to a Jury Trial    Filed: 4/13/2009
	Defendants' Brief in Support of Jury Trial of ODS' Claims    Filed: 4/13/2009
	ODS’ Reply to Defendants’ Brief in Support of Jury Trial of ODS' Claims    Filed: 4/20/2009
	Defendants' Response in Opposition to ODS' Memorandum of Law Asserting Defendants are not Entitled to a Jury Trial    Filed: 4/20/2009
	Second Amended Scheduling Order    Filed: 4/21/2009
	Defendants' Motion for Partial Summary Judgment against ODS and Brief in Support Thereof    Filed: 4/24/2009
	Defendants’ Unopposed Motion for Leave to File Oversized Brief in Support of Motion for Summary Judgment against Intervenors    Filed: 4/30/2009
	Order Granting Defendants’ Unopposed Motion for Leave to File Oversized Brief in Support of Motion for Summary Judgment against Intervenors    Filed: 5/1/2009
	Defendants' Motion for Summary Judgment against Intervenors and Brief in Support Thereof    Filed: 5/1/2009
	ODS' Motion for Summary Judgment    Filed: 5/8/2009
	Order Granting ODS' Unopposed Motion for Leave to File Oversized Brief in Support of Motion for Summary Judgment against Defendants    Filed: 5/11/2009
	ODS’ Response to Defendants’ Motion for Partial Summary Judgment    Filed: 5/14/2009
	Dismissal With Prejudice [Intervenors] [CJ-06-3311]    Filed: 6/15/2009
	Dismissal With Prejudice    Filed: 6/25/2009

 

FIIK Investment & Holdings, Inc., Edgar M. Bias, and Thomas E. Dunn
	Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing with attached Enforcement Division Recommendation    Filed: 12/31/2003
	Order to Cease and Desist    Filed: 2/11/2004

 

First Interstate Financial of Oklahoma, LLC and Dennis Investments, Inc. and Dennis, Keith
	Agreement and Order to Cease and Desist    Filed: 10/8/2009

 

Foster, William Stephen
	Order Initiating Investigation [William Stephen Foster]    Filed: 8/15/2003
	Agreement, and Final Order to Bar from Association with a Broker-Dealer and/or Investment Advisor    Filed: 7/20/2004

 

Foxborough Funding LLC
	Order Initiating Investigation    Filed: 9/25/2007

 

FR&J Investments Group Corporation and Frederick D. Hammond, Jr.
	Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing w/Enforcement Division Recommendation    Filed: 6/9/2005
	Agreement, and Permanent Order to Cease and Desist    Filed: 10/5/2005

 

Freedom Auto Connection, Wilderom, Neil, and Mayberry, John
	Order to Cease and Desist and Notice of Opportunity for Hearing    Filed: 3/5/2009
	Final Order to Cease and Desist    Filed: 4/17/2009

Fryco Well Solutions, Inc. and Milton Fry
	Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing with attached Enforcement Division Recommendation    Filed: 6/10/2004
	Order to Cease and Desist    Filed: 7/20/2004